Wealth Management Compliance - Senior Principal Consultant

This role is available in the following locations (New York City, Boston, Pittsburgh, Chattanooga, Portland Maine, Medford Oregon, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, and Dallas. You will work on a hybrid schedule with two days a week in the office.

The Opportunity: 

The individual in this position is responsible for providing overall compliance assistance and advice to wealth manager clients including investment advisers who may also provide pension consulting or advise private funds. Responsibilities also include participating in and leading mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, and drafting reports and manuals that promote compliance with regulatory requirements. The individual in this position is also responsible for the development of client relationships and the development and oversight of ACA junior staff.

What you’ll do: 

• Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions). 
• Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a positive client experience. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs promptly and ensuring that colleagues contributing to shared accounts do the same. 

• Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports). 
• Perform a broad scope of work during reviews of clients with a typical level of scale and complexity for ACA’s client base, and guide, coordinate, and consolidate the work of colleagues during these reviews. 
• Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing the preparation of, and/or delivery of internal or client training and/or presentations). 
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives. 

To qualify for the role you must have: 

• Bachelor’s degree. 
• 6 years of compliance industry experience. Alternatively, at least 4 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA. 
• Strong working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974). 

 

Ideally, you’ll also have: 

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.  
• Supervisory experience.
• Experience with Form ADV, IARD. 

 

Skills and attributes for success: 

• Demonstrated professional integrity. 
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs. 
• Ability to exercise discretion and make independent judgments on matters of significance. 
• Ability to work in a fast-paced individual and small team environment. 
• Ability to establish and maintain effective working relationships with colleagues and clients. 
• Highly motivated and goal-oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks. 
• Dedicated to upholding ACA’s high-quality standards and customer service focus.